Salary:

£16,000.00 - £25,000.00 / annum

Location:

London

Date posted:

9th October 2019

Employment type:

Permanent

Job reference:

06030-0011205501

Staffing area:

Financial Services


Description

Part Time Compliance Associate

London

Salary: £16K-£25K for working 2 days per week

Investment Management

Duties & Responsibilities

  • Responsibility for CONNECT applications and withdrawals;
  • Assisting with reviewing, updating and maintaining compliance policies, manual and procedure documents;
  • Assisting with regulatory filings on GABRIEL;
  • Assisting with the in-house compliance training programme;
  • Keeping abreast of regulatory developments affecting the firm;
  • Updating and maintaining compliance registers; including AML, Breaches, Conflicts of Interest, Financial Promotions, PAD, Gifts and Entertainment;
  • Assisting in the preparation of annual MLRO and CO reports to the board;
  • Customer due diligence, client take on procedures for new clients and performing ongoing KYC;
  • Dealing with or escalating compliance queries as and when they arise; including co-ordinating compliance inbox;
  • Compliance monitoring including co-ordinating with compliance consultants for semi-annual outsourced compliance monitoring;
  • Reviewing and approving financial promotions including analyst presentations.

Requirements:

  • Generalist FCA compliance experience is a must; preferably in a monitoring capacity
  • Exceptional communication and time management skills
  • Good working knowledge of all core Microsoft packages
  • Legal training and some commercial law experience would be an attractive additional skill set
  • Undergraduate degree desirable

The salary range/rates of pay is dependent upon your experience, qualifications or training.

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. Where rates of pay or salary ranges are detailed these are dependent upon your experience, qualifications or training. If you wish to apply for this position please read our Privacy Notice which details how we may use, process, store and disclose your Personal Information: https://www.roberthalf.co.uk/privacy-notice.

Requirements
Part time compliance


London

10th Floor, The Shard
32 London Bridge Street
London
SE1 9SG
gb
0207 389 6900
Management Accountant
Melksham
Permanent
22nd October 2019
Accounts Payable Clerk
Manchester
Permanent
22nd October 2019
Finance Manager
London
Temporary
22nd October 2019
Accounts Assistant
Chippenham
Permanent
22nd October 2019
Sales Executive
Reading
Permanent
22nd October 2019
Financial Controller
London
Permanent
22nd October 2019
Head of Compliance
London
Permanent
22nd October 2019
Financial Controller
Bristol
Permanent
22nd October 2019
Junior Project Manager
Bristol
Permanent
22nd October 2019
Financial Analyst
London
Temporary
22nd October 2019
Compliance Analyst
London
Permanent
22nd October 2019
Purchase Ledger Clerk
Swindon
Permanent
22nd October 2019
Senior Technical Analyst- Chessington
Chessington
Permanent
22nd October 2019
Operations Analyst - Investment Manager
City of London
Permanent
22nd October 2019
Reports Administrator
Castleford
Permanent
22nd October 2019
See more jobs >